Science and Technology in Contemporary Chinaassets.cambridge.org/97811070/80379/frontmatter/...viii Map, Figure and Tables 4.4 R&D in higher education institutions, 1986–2010 159

Science and Technology in Contemporary China

Interrogating Policies and Progress

Varaprasad S. Dolla

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© Varaprasad S. Dolla 2015

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Dolla, Varaprasad S., author. Science and technology in contemporary China / Varaprasad S. Dolla. pages cm Includes bibliographical references and index. Summary: "Discusses the conceptual framework of policy studies, the unfolding and widening horizons of science and technology in the global context and the Chinese historical evolution"-- Provided by publisher. ISBN 978-1-107-08037-9 (hardback) 1. Science and state--China. 2. Technology and state--China. I. Title. Q127.C5D63 2014 338.951'06--dc23 2014015503

ISBN 978-1-107-08037-9 Hardback

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To the five who are central to my life: First, the one who gave me life;

Second, the two who brought me into the world; Third, the one who shares my life;

Fourth, the two who will carry on my legacy; Fifth, all those who contributed to my life, both directly and indirectly.











Contents

Map, Figure and Tables viiPreface ixAcknowledgments xvAbbreviations xix

Part I Macro and Micro Policy Dimensions 1. Introduction: A Critique on Contemporary S&T Policy 3

and Progress 2. Science and Technology in Contemporary China: 42

The Changing Contours

Part II Historical Antecedents 3. S&T Policy and Progress in Chinese History: From Firm 89

Foundations to Technological Inertia to Potential Technological Power

Part III S&T Policy and Progress in Contemporary China 4. S&T Organisational Structure 135 5. Research System: Contestation between Top-Down and 189

Bottom-Up Approaches 6. Technology Acquisition and its Impact on Economy, Society, 239

and Polity

Part IV Conclusion 7. S&T in Contemporary China: A Perspective from the Periphery 281

Select Bibliography 295Index 319











Preface vii

Map, Figure and Tables

Map2.1 R&D expenditure, intensity, and GDP in Chinese 83 provinces and regions, 2010

Figure4.1 Organisational structure of the S&T system in China 170

Tables2.1 S&T indicators in China: Regional disparities, 2010 812.2 Economic indicators: Disparities among the three regions, 84

2011–12

3.1 Inventions and discoveries made in ancient and medieval China 1013.2 Estimated number of degree-holding Chinese scientists, 107 medical doctors, and engineers trained in the West, in varying years, 1850–1962. 3.3 Science societies in China, 1915–35 1083.4 Growth of literature on science, 1914–36 1093.5 Expenditure on S&T, 1953–77 1183.6 Acquisition of technology from the Soviet Union during 129 1950–60

4.1 State-owned and non-state-owned research institutes, 147 1978–20094.2 CAS: A profile, 2012 1484.3 S&T in large and medium-sized enterprises, 1987–2010 157






viii Map, Figure and Tables

4.4 R&D in higher education institutions, 1986–2010 1594.5 R&D institutes affiliated to local governments: 1985–2010 1644.6 Government expenditure on science and technology, various 183 years during 1980–2010

5.1 Contribution of Chinese scientists to research and patents, 207 1995–2009 5.2 Basic research: R&D personnel and expenditure, 1995–2010 2225.3 Basic research: R&D personnel and expenditure by 222

performer, 20105.4 Applied research: Personnel and expenditure, 1995–2010 2235.5 Applied research: Personnel and expenditure by performer, 224 2010 5.6 R&D personnel and expenditure in experimental 225

development, 1995–2010 5.7 Experimental development: Personnel and expenditure 225 by performer, 20105.8 Domestic patents granted to coastal, central, and western 228

regions, 2010

6.1 China’s technology import contracts, by mode, 1981–95 2616.2 High-tech imports in China, 1995–2010 2626.3 High-tech exports from China, 1995–2010 2626.4 S&T gaps between coastal, central, and western regions 268

of China, 2010






Preface

Chinese science and technology (S&T) policy, as a subset of the Open Door Policy that Deng Xiaoping launched in 1978, marked the completion of three decades of reform in 2008. A three-decade evolution is substantial enough to review and assess the trajectory of S&T policy to understand the manner in which it has unfolded, shaping S&T progress. Liberal and flexible policies initiated and implemented effectively in different facets of S&T, such as organisational structure, S&T personnel, research and development (R&D), and technology acquisition are central to this process. The cumulative outcome of these gradual and yet fundamental reforms in S&T policy is a remarkable S&T progress. The following select data for 2010 gives us a glimpse into the Chinese accomplishments in S&T. China’s Gross Expenditure on Research and Development (GERD), a key indicator of S&T development, was about 179 billion US dollars, trailing just behind the US. China published about 45,000 scientific research articles and, thus, figured among the top five. Though multinational companies (MNCs) play a key role, China is now the largest high-technology exporting country with a volume of about 350 billion US dollars. Moreover, some segments of its space, agricultural, and industrial technologies are approaching the levels of the ones in the advanced countries. These impressive indicators signify the unfolding of a new phenomenon of paradigm shift from ‘made in China’ to ‘invented and innovated in China’. This is in line with the goal that China set for itself in 2006 to become a nation of innovation by 2020. However, there are a multitude of problems, such as lack of adequate academic freedom and indigenous innovation, rampant imitation, academic fraud, plagiarism, and intellectual property rights violations, that continue to fraught the Chinese S&T system.

Despite some of these deficiencies, the end result of these policy changes has been the far-reaching transformation of the very structure and substance of S&T, facilitating their contribution to the economic development of China






x Preface

with an average GDP growth rate of about nine per cent during this period. It may not be an exaggeration to posit that the economic development that China had been able to achieve in the last three decades hinged, to a considerable extent, on the reforms initiated in the S&T system. The central thesis of the study is that at the heart of this process is S&T policy coupled with effective implementation, resulting in remarkable progress. Therefore, this study aims at delineating this key component with an eye on S&T progress.

A number of studies have been published in the recent past, highlighting some of these dimensions of S&T, including the notable role of policy and progress in contemporary China’s development. The main theme of these studies is that the Chinese government, the scientific community, and the advanced technology that China acquired – all contributed to this progress in a short span. There are other studies that discuss the shortcomings of the Chinese S&T policy and progress.

In the context of these divergent processes, problems, and perspectives, there is an imperative need to revisit and interrogate the nature and scope of Chinese S&T policy and progress. This study, therefore, in delineating the role of state in S&T policy formulation and development, vis-à-vis scientific community, and in technology acquisition, makes a major departure from these studies and perspectives. Some of the critical issues that need probing are the nature and scope of Chinese S&T policy and the place of the poor in the Chinese S&T policy architecture. In other words, how are S&T policies crafted with an eye on the impacts these will have on the lives of those on the periphery, particularly those in the central and western provinces in China? While examining these pivotal issues, the study interrogates S&T from the prism of the marginalised and the underprivileged, whose interests and concerns are required to be factored into the formulation of S&T policy. One of the key questions, therefore, is where exactly do the poorest of the poor and the marginalised communities are in the framework and gamut of Chinese S&T policy? Some sections of Science and Technology Studies (STS) scholars might question the logic of this proposition stating: Is it possible to factor the poor in the broad framework of S&T policy? The study, however, assumes that it is not only possible but also most certainly vital for the future of both the poor and S&T, particularly in the context of the increasing corporatisation of not only R&D but also S&T. While corporatisation of R&D and S&T has some substantial benefits, there is a great need to harness S&T for the good of the majority. It is in this realm where the corporate houses do not venture, that the governments must endeavour to push the envelope of S&T policy and progress in the direction of hitherto uncharted terrains.






Preface xi

In addition, participatory development paradigm that Robert Chambers so lucidly articulated in his path-breaking work Whose Reality Counts? Putting the Last First will also be used, as this paradigm is wider in scope, bringing those on the margins to the centre of policy-making, thus making S&T policy and progress truly representative of all sections of the society, factoring their voices and their concerns. From the perspective of Social Studies of Science (SSS), the progress of science presupposes progress in our understanding of the conditions, nature, and development of not only science but also S&T policy and the poor.

Structure of the StudyIn an attempt towards delineating the Chinese S&T policy, this study is divided into three major parts. The first part considers both the macro and the micro issues pertaining to S&T policy in general and S&T policy in China in particular. The second part highlights the historical narrative of Chinese S&T policy, as it has a key role in the evolution of contemporary S&T architecture. The third part discusses three focal components of Chinese S&T system, each representing state, society, and international system. The organisational structure representing the state, research system representing the society, and technology acquisition representing the international system, with serious implications for China, form a substantial part of the study.

The first chapter considers two central issues. First, it delineates the nature and evolution of S&T policy by situating it within the framework of policy studies, which is witnessing a major paradigm shift in its evolution, contributing in developing a number of conceptual and analytical tools that could be applied to S&T policy in general and Chinese S&T policy in particular. This is necessitated because of the critical gap that exists between policy studies and S&T policy. In fact, S&T policy can benefit from the analytical tools developed within the policy studies over the years. Second, the chapter focuses on how S&T has been evolving over the last few decades and in the process becoming more variegated and complex. The complex nature of S&T policy is directly related to the expansion of various new technologies and their increasing impact on society, economy, and polity. In the last three decades, with a number of byproducts and a new phenomenon of maturation in the developing countries, S&T policy has become much more complex, thus necessitating a novel approach. This is done in the light of Robert Chamber’s framework of whose reality counts underscoring the fact that the reality of all those who are affected by the growth of the present S&T architecture must find a credible place.






xii Preface

The second chapter examines the trajectory of S&T policy in China since 1978, focusing on the changing contours. It analyses the Chinese perceptions of policy in promoting the development of S&T. The central theme of the chapter is how the Chinese state provided an innovative ideological base and gave unflinching support to the S&T system in order to make it more effective and use it for the overall development of China. The role that Deng Xiaoping played is central to this process. He envisioned a new path for the development of S&T by decoupling it from the control of the Party. Consequenty, the Chinese S&T policy went through various phases and pathbreaking reforms, which have transformed the substance and structure of Chinese S&T policy and progress. However, the Chinese state neglected to factor the poor, the marginalised, and the central and western regions into the S&T policy framework. In fact, it moved away from Mao’s version of people-centred science to professionals-centred science, which resembles the Western science in style and yet in substance continues to retain some authoritarian vestiges.

The S&T policy changes in contemporary China cannot be fully appreciated without a historical narrative and analysis of S&T in its pre-policy (prior to 1850) and policy (since 1850 when Qing rulers began to promote S&T with fragmented policies) periods. Therefore, the third chapter places the discussion in the historical context of the development of S&T in China. It brings to light the glorious past that China carved over the centuries thus adding to the global S&T with its inventions of paper, movable printing press, compass and gunpowder, besides several others prior to the fifteenth century. This was followed by some sort of technological inertia and inward-looking policy during the mid-fifteenth to the mid-nineteenth centuries, which deeply affected the growth of S&T, thus leading to the conceptualisation of the famous Needhamian puzzle, which poses the question that why China, with such a glorious past, could not experience Industrial Revolution much before Europe. Ever since the Opium War of late 1830s and early 1840s, and the consequent semi-colonisation of China, we notice China’s insatiable quest for acquiring and using Western technology to catch up with and defeat the West, followed by the nationalist endeavours to strengthen S&T in China. Thereafter, Mao Zedong, with his deep understanding of S&T, attempted to make science serve the state, the Party and the socialist movement by calling for mass-science. What emerges from this discussion is the various vicissitudes of S&T policy impacting its architecture and trajectory.

In the third chapter, organisational structure of the S&T system, as a representative of the state, is examined. The many institutions established and






Preface xiii

different reforms initiated during Deng’s period form part of this chapter. The first thing the state did under Deng Xiaoping was to revive the S&T system and establish a number of bodies and R&D institutes. The Science and Technology Leading Group (STLG) was one such high level body. The organisational structure was made more f lexible with the devolution of decision-making power to the research institutes. Some of the reforms introduced in the S&T organisational structure are so radical that they transformed the very nature and functioning of S&T and began to strip the socialist elements, thereby transforming the Chinese S&T institutions.

The fourth chapter looks at the reforms initiated in the research system, as a representative of the society, in S&T personnel, R&D, and S&T programmes. In the post-Mao period, S&T personnel have been given a new status and identity following the ideological departures that Deng Xiaoping made. They are now accepted as part of working class and called ‘brain workers’. This process has boosted their morale and opened new vistas for them to interact with their counterparts across the globe and to articulate liberal views vis-à-vis science, society, and polity. In the area of R&D, an attempt was made to strike a balance between basic, applied, and development research, though the scale continues to tilt towards development research. To use the R&D results, a number of science plans and programmes were introduced, which have been transforming the economic and social fabric of China.

The fifth chapter elucidates how technology acquisition, as a representative of the international system, has been contributing to the development of not only Chinese S&T but also its economy. Changes in the way China acquired advanced technology, the increase in the quantum of technology imported, and several other related facets are discussed in this chapter. The mode and content of technology transfer from countries that could offer some of the most advanced technologies saw major changes. These have provided a number of sources for China to acquire sophisticated technology and expedite the process of reducing the gap between China and the developed countries. There is also an element of techno-nationalism underpinning Chinese S&T policy, particularly in China’s pursuit of acquiring state-of-the-art technologies from countries like US and Japan. China’s preoccupation with acquiring sophisticated technologies from the developed countries was such that both the leadership as well as the scientific community overlooked the need to invest their resources to develop indigenous technology. Of late some efforts are being made to address these lacunae.






xiv Preface

The study ends with a chapter on conclusions arrived at. The chapter critiques the structure and substance of S&T in post-contemporary China in the light of the policy studies framework and the ever-expanding horizons of S&T in the global context, besides highlighting some of the major foibles with it. The study concludes arguing that there are several issues pertaining to S&T policy and progress, which are on the periphery and which need to be brought forth to form the fulcrum of the debate. Among these issues, the bottom of the pyramid of the S&T system, the poor, the marginalised communities and their needs, and also the central and western regions and their concerns are some that must find a credible place in the Chinese S&T policy and progress architectures.






Preface xv

Acknowledgments

Acknowledging the many people who have contributed to this research in some way or the other is undoubtedly a refreshing exercise as it helps to cherish both the direct and indirect intellectual influences on one’s worldview. Here is an earnest attempt. I thank Professor G. P. Deshpande whose unstinted support was quite pivotal to the study right from the beginning to the end during which period I traversed from being a student to a teacher. I cannot help but think of late Dr Narnarayan Das, who was the initial inspiration behind making a paradigmatic shift from historical studies to science studies in my pursuit of a research topic. I would like to place on record my gratitude for Professor Giri Deshingkar, who is also no more, who was kind enough to give his time to my work, particularly during the initial stages of this research. His insistence on rigorous research has helped me enormously. Professors Xin Liu of UC Berkeley, Richard Suttemeier of University of Oregon, Shulin Gu of Tsinghua, Bengt Lundvall, Luc Soete, and Giovini Dosi, with whom I have had the privilege of interacting at various symposiums and conferences and drawing insights from their writings, have shaped my perspectives over the years. I thank Professors Soete, Suttemeier, Gu, and Liu Xinlien for their comments on the first two chapters, which contributed to the improvement of the study to a great deal. Mr V. P. Karbanda of NISTADS provided me with material that contributed during the initial conceptualisation stage of this study. My colleagues in the Centre for East Asian Studies have been quite understanding and cooperative during the years of my research and teaching. Since the introduction of a course on science and technology in China’s development at the Centre, the students who opted for this course have, through their forays into the learning areas and understanding of these two key forces, also contributed their bit to some of the issues that this study endeavours to explore.






xvi Acknowledgments

The much appreciated scholarship provided by the UGC and the field trip by Jawaharlal Nehru University have been extremely beneficial in conducting the study. It was during the field trip that I received considerable support, particularly from Professor Fang Xin and Mr Leng Min of the Institute of Policy and Management of Chinese Academy of Sciences, who were very hospitable and helpful in providing research material during my stay in Beijing in 1997. They directed me to certain materials, which I would not have got otherwise. Help rendered by Mr Anthony Slacks of the Hong Kong University of Science and Technology is much appreciated. Staff of a number of libraries, both in India and China, has been instrumental in leading me to the material I was looking for. I thank them all.

I am deeply grateful to the Asian Scholarship Foundation in Bangkok, which provided me an excellent opportunity in 2004 to be in the field and interact with a number of Chinese policy-makers, scientists, social science scholars and students, farmers, and businessmen, which provided some of the most interesting insights into the evolution of science and technology in China. Ms Lourdes Salvador, who is an intellectual mother to all the ASIA Fellows, is fondly appreciated for her encouraging words and support.

Many friends have been with me providing help at various stages of this research. Their intercession has provided the much-needed succour. Encouragement received from CB and Selina in every sphere has always been a source of tremendous strength. Raju, Nehemiah, and Gausper have helped me during the initial stages. Their words of encouragement meant a lot to me. Sushil and Rajkumar with their humour and computer expertise brought the cheer during the final stages of the study. Joy, Margaret, Tiju, Shankari, and Salaam have made the task of proofreading easier. Anil of A. P. Computers with his computeronics was quite prompt in typing the manuscript. Mr Manish Choudhury, Ms Sana Bhanot and other staff at Cambridge University Press Pvt. Ltd have been quite efficient and patient in taking the manuscript through various stages until its publication.

This work would not have been possible without the love and support of my parents. Their constant enquiries about the progress of my research have ultimately yielded the fruit. The help received from my sisters and brother is highly regarded. One of greatest blessings I have received in my life is my wife Bonnie, who traversed from being a friend to a fiancée and finally my wife during the course of this study. Her presence and support at every stage will be cherished forever. Thereafter, my two precious children Arpith and Daya had to face the brunt of my research when they had to make do with little






Acknowledgments xvii

time from their dad. It was a joy to have them around while doing research in China in 2004 and they also contributed their share.

Finally, to the One who bestowed on me the greatest gift of life, all glory belongs. He has been my sustainer, provider, and guide in all these years. The regular caveat applies that I am alone responsible for the perspectives advocated here and any mistakes that may have inadvertently rolled in.






xviii Preface






Preface xix

Abbreviations

ACADSTC All China Association for Dissemination of S&T KnowledgeACFSS All China Federation of Scientific SocietiesCAAS Chinese Academy of Agricultural SciencesCAE Chinese Academy of EngineeringCAFS Chinese Academy of Forestry ScienceCAGS Chinese Academy of Geological ScienceCAMS Chinese Academy of Medical ScienceCAS Chinese Academy of SciencesCAST China Association of Science and TechnologyCCP Chinese Communist Party CIFST Council of International Federation of Science and TechnologyCNTIEC China National Technology Import and Export CorporationCOCOM Coordinating Committee on Multilateral Export ControlsCOSTIND Commission on Science, Technology and Industry for National

DefenceCS Contract SystemCSE Centre for Science and EnvironmentCTBT Comprehensive Nuclear Test-Ban TreatyCTER Centre for Technical and Economic ResearchDRS Director Responsibility SystemERS Engineers Responsibility SystemETDZ Economic and Technology Development ZoneFBIS Foreign Broadcast Information ServiceFDI Foreign Direct InvestmentFOSAT Forum on South-South Cooperation in Science and Technology FSTD Foundation of Science and Technology for DevelopmentGCSTP Guide to China’s Science and Technology Policy






xx Abbreviations

GLF Great Leap ForwardHEI Higher Education InstitutionHTDZ High Technology Development ZoneICBC Industrial and Commercial Bank of ChinaICTs Information and Communication TechnologiesING International Non-governmental OrganisationIPRs Intellectual Property RightsISTIC Institution of Science and Technical Information of ChinaKIP Knowledge Innovation ProgrammeLME Large and Medium EnterpriseMDGs Millennium Development Goals MLP Medium and Long Term PlanMNC Multinational CompaniesMOFERT Ministry of Foreign Economic Relations and TradeMOFTEC Ministry of Foreign Trade and Economic CooperationMOST Ministry of Science and TechnologyNDSTC National Defence Science and Technology CommissionNHTDZ New and High Technology Development ZoneNIEs Newly Industrialised EconomiesNDIO National Defence Industry OfficeNGO Non-Governmental OrganisationNIS National Innovation SystemNPC National People’s CongressNPT Non-Proliferation TreatyNRCSTD National Research Centre for Science and Technology for DevelopmentNRDC National Reform Development CommissionNSF National Science FoundationNSFC National Natural Science Foundation of ChinaNSORI Non State-Owned Research InstituteNTDZ New Technology Development ZoneOECD Organisation for Economic Cooperation and DevelopmentPLA Participatory Learning and ActionPRA Participatory Rural AppraisalPSP Participatory Science PolicyPM Production MinistryPRC People’s Republic of ChinaR&D Research and DevelopmentRI Research Institute






Abbreviations xxi

RMB RenminbiRSFTE Research Foundation for Science, Technology and EcologyS&T Science and TechnologySC State CouncilSEC State Economic CommissionSEd.C State Education CommissionSEZ Special Economic ZoneSLGST State Leading Group of Science and TechnologySOE State-Owned EnterpriseSPC State Planning CommissionSSS Social Studies of ScienceSSTC State Science and Technology CommissionSTC Science and Technology CommissionSTDZ Science and Technology Development ZoneSTIPs Science and Technology Industrial ParksSTLG Science and Technology Leading GroupSTS Science and Technology StudiesSWB Summary of World BroadcastTBI Technology Business IncubatorTCS Tata Consultancy ServicesTERC Technical and Economic Research CentreTVE Township and Village EnterpriseTWAS Third World Academy of ScienceTWOWS Third World Organisation for Women in ScienceUNESCO United Nations Education, Scientif ic and Cultural OrganizationWFEO World Federation of Engineers OrganisationWFOE Wholly Foreign Owned EnterpriseWTO World Trade OrganisationZTE Zhongxing Telecom Equipment Ltd.






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Science and Technology in Contemporary Chinaassets.cambridge.org/97811070/80379/frontmatter/...viii Map, Figure and Tables 4.4 R&D in higher education institutions, 1986–2010 159